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Articles Tagged with NYLife Securities

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Nevada-based NYLife Securities broker Michael Norman has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former Missouri-based NYLife Securities broker/adviser David Colflesh, who has received numerous customer disputes, was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 14, 2018 indicate that former Florida-based NYLife Securities broker Darnell Mote has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that former Minnesota-based NYLife Securities broker Justin Simon, who recently resigned from his former employer in connection to alleged rule violations and is currently not registered with any state or firm, recently received a pending customer dispute. Fitapelli […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that California-based NYLife Securities broker Ronald Walker has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walker (CRD# 811665). Ronald Walker has spent 35 years in the […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that Florida-based NYLife Securities broker/adviser Robin Wahby has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Wahby (CRD# 2107629). Robin Wahby has spent 27 years in the securities […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that Missouri and Florida-based NYLife Securities broker/adviser Rodney Ferguson has been involved in several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ferguson (CRD# 2482868). Rodney Ferguson has spent 23 years […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 27, 2017 indicate that former Pennsylvania-based NYLife Securities broker Joseph Pailin, Jr. has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pailin (CRD# 1209128). Joseph Pailin […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 12, 2017 indicate that former New York-based NYLife Securities broker/adviser Jonathan Lo has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 10, 2017 indicate that former Wisconsin-based NYLife Securities broker/adviser James Kolf has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints […]

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